Comparative Analyses of Safety Management System in Railway between USA, Germany and Kazakhstan

국문 초록 (Abstract)

초록
미국, 독일 및 카자흐스탄 간 철도 안전 관리 시스템 비교 분석

Prof. Jeong-Seo Koo, Ph.D., P.E.
철도안전공학과
철도전문대학원
서울과학기술대학교

계획서에 따르면, JSC “NC Kazakhstan Railways”(KTZ)의 안전 관리 시스템(SMS)를 조사하기 위한 것이었다. 두 가지 방식이 사용 되었는데, 미국과 독일 철도와 비교하여 KTZ의 안전 성능과 안전 문화를 평가하는 것이다.
비교분석에 사용된 접근법은 독일과 미국의 철도와 비교한 KTZ의 안전 성능 평가와 안전 문화의 품질 지표 비교 분석이었다.
실패와 위반으로 불완전한 자료의 위험 때문에 교통 안전 관리 시스템(SMS)의 비교 분석은 두 가지 요소로 구성된다.
• 특정 기간 동안 교통 안전 위반(TSV)에 대한 가능한 정보(유형, 원인, 부서)의 통계 분석.
• 안정성에 대한 비교 접근, 다음과 같은 측면에 대한 접근법의 차이점 정의:
 교통 안전에 대한 투자;
 직원 교육;
 규제 및 기술적 문서;
 교통 안전 감사;
 운영 프로세스;
 관리자 및 직원에 대한 동기 부여 시스템.
또한 프로젝트의 틀은 아래의 내용을 포함한다:
 연구와 비교분석은 KTZ, 미국과 독일 철도의 교통 안전을 보장하기 위한 과정과 교통 안전 지표를 포함한다.
 KTZ가 미국과 독일 철도와 동일한 수준이 되기 위해 개선해야 할 측면;
초기 권장사항(조직 및 새로운 프로세스의 구현과 관련)이 주어졌으며 이것이 실현되면 이 권장 사항은 안전 성능을 향상시킬 것이다.

다국어 초록 (Multilingual Abstract)

According to the Propose, it was to examine the Safety Management System (SMS) in JSC “NC Kazakhstan Railways” (hereinafter - KTZ). Two approaches have been used: Compared to US and German railways assess KTZ’s safety performance and safety culture.
This research project will:
 Examine and compare safety performance and processes of KTZ, US railways, and German railways from both of these perspectives;
 Identify areas where KTZ is deficient compared to these railways;
 Formulate recommendations for changes in organization, policies and procedures that will, when implemented, enable KTZ to improve its actual safety performance.
Because the reporting of injuries/accidents/incidents may be incomplete, benchmarking safety performance among railways should include two different types of analyses:
Statistical analyses of reported incidents (by type, by cause, by department) over time within a railway, and between railways. Comparison of the way in which the safety function is carried out between railways, identifying differences in approach in areas such as:
 Safety focused investments
 Employee training
 Rules and regulations
 Audit of safety activities
 Operating standards and processes
 Management and employee incentives and penalties
This required a quantitative analysis of traffic safety indicators which resulted in data obtained from the following sources:
• KTZ: statistical data and description of violations occurring inside and beyond the Holding;
• Germany: data from Eisenbahn Bundesamt (EBA);
• USA: data from Federal Railway Administration (FRA).

목차 (Table of Contents)

• List of symbols iv
• List of Figures vi
• List of Tables vii
• 1. Introduction 1
• 1.1 Background 1
• 1.2. Problem statement 2
• 1.3 Overview of activities carried out to implement research propose 4
• 1.4. Railways included in the benchmarking 6
• 2. Literature review and best practices on safety management systems 8
• 2.1. Best Practices for Traffic Safety Management 8
• 2.2. Safety indicators compatible with high operational performance 10
• 2.3. It is necessary to constantly focus on the database 11
• 2.4. Approach to the comparative analysis 13
• 3. A Quantitative Comparative Analysis 15
• 3.1. Description of a method of quantitative benchmarking 15
• 3.2. Specifics of violations database (VDB) 16
• 3.3. A single classification in the analysis 17
• 3.4. A single classification of TSV categories 18
• 3.5. Making TSV FRA to meet a single classification 19
• 3.6. Scope of activity of operators 21
• 3.7. Results of quantitative benchmarking 23
• 3.8. Conclusions based on quantitative benchmarking 26
• 4. Qualitative comparative analysis 28
• 4.1. Description of the methods of qualitative benchmarking 28
• 4.2. Free information on KTZ SMS 30
• 4.3. Orders and regulations in traffic safety of railway in the Republic of Kazakhstan 34
• 4.4. Key players of SMS on rail in Kazakhstan 36
• 4.5. The highest level of traffic safety management in Kazakhstan 36
• 4.6. The process of internal investigations in case of accidents and crashes 37
• 4.7. United States Example 38
• 4.8. US Federal Rail Supervision Authority 41
• 4.9. An example of Germany 41
• 4.10. Regulatory Environment - Railway Laws in Germany 45
• 4.11. State Railway Administration of Germany 46
• 4.12. Department of Investigation in Germany 46
• 4.13. The results of qualitative benchmarking 48
• 4.14. Conclusions based on a qualitative benchmarking 51
• 5. Conclusions 54
• 5.1. Key findings 54
• 5.2. Recommendations: premises of violations 55
• 5.3. Approach to aggregation of safety metrics 57
• 5.4 Recommendations: Ensuring the completeness of reporting of violations 58
• References: 61
• Summary 62
• 초록 64
• Acknowledgement 66